DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••• W••••• • T•• A•••••••
Legal name T••• F•••••••• G••••• L••
Latest filing Jun 2, 2026
First filing on the tape Feb 8, 2023 · 16 filings
SEC status approved since Mar 10, 2023
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$250M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$41.8M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$251M as of Jun 2, 2026
Jan 31, 2024$147M then
HNW client RAUM$140M as of Jun 2, 2026
Jan 31, 2024$77.4M then
State-registered IARs (5.B.3)6 as of Jun 2, 2026
Jan 31, 20246 then
Employees (5.A)7 as of Jun 2, 2026
Jan 31, 20248 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $41.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $316,589derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $52.2M, 116 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M56%
- Individuals$110M44%
- Charitable organizations$932,2300.4%
- Individual clients
- 287reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 793reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.2M for 116 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• P••• L••••••• | Temecula, Ca | Jul 10, 2020 | 19 y | 0 |
| J••••• S•••••• C•••Certified Financial Planner | Temecula, Ca | Jul 10, 2020 | 13 y | 1 |
| D••••• P••• W••••Certified Financial Planner | Temecula, Ca | Jul 10, 2020 | 14 y | 1 |
| J••••• S•••••• C•••Certified Financial Planner | Temecula, Ca | Jul 10, 2020 | 32 y | 4 |
| L•••••• P••• C•••Certified Financial Planner | Temecula, Ca | Jul 10, 2020 | 36 y | 3 |
| B•••• O••• | Temecula, Ca | Sep 17, 2021 | 25 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••••• P••• C••• from A• W••••• M••••••••• L••Jul 10, 2020 · RIA to RIA
- J••••• S•••••• C••• from A• W••••• M••••••••• L••Jul 10, 2020 · RIA to RIA
- J••••• S•••••• C••• from A• W••••• M••••••••• L••Jul 10, 2020 · RIA to RIA
- D••••• P••• W•••• from A• W••••• M••••••••• L••Jul 10, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A• W••••• M••••••••• L••Oct 29, 2020 · Temecula, Ca · t••• lift out
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• J•••••• S•••••• · Chief Compliance Officercontrolsince 01/2024 · owns 50% to 75%
- C•••• L••••••• P••• · Managing Membercontrolsince 08/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- J••••• S• C•••insurancen
- L•••••• P• C•••insurancen
- L•••••• P• C•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Temecula, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 777 to 793Apr 28, 2026 to Jun 2, 2026
- HNW clients · 74 to 79Apr 28, 2026 to Jun 2, 2026
- Individual clients · 284 to 287Apr 28, 2026 to Jun 2, 2026
- Discretionary RAUM · $233M to $251MApr 28, 2026 to Jun 2, 2026
- HNW RAUM · $131M to $140MApr 28, 2026 to Jun 2, 2026
- Individual RAUM · $103M to $110MApr 28, 2026 to Jun 2, 2026
- RAUM · $233M to $251MApr 28, 2026 to Jun 2, 2026
- Other offices · 0 to 1Feb 6, 2026 to Apr 28, 2026
- Accounts · 754 to 777May 20, 2025 to Feb 6, 2026
- HNW clients · 54 to 74May 20, 2025 to Feb 6, 2026
- Individual clients · 278 to 284May 20, 2025 to Feb 6, 2026
- Assets in custody · unset to 52166926.0May 20, 2025 to Feb 6, 2026
- Custody of client assets · false to trueMay 20, 2025 to Feb 6, 2026
- Other offices · 1 to 0May 20, 2025 to Feb 6, 2026
- Discretionary RAUM · $186M to $233MMay 20, 2025 to Feb 6, 2026
- HNW RAUM · $90.6M to $131MMay 20, 2025 to Feb 6, 2026
- Individual RAUM · $95.3M to $103MMay 20, 2025 to Feb 6, 2026
- RAUM · $186M to $233MMay 20, 2025 to Feb 6, 2026
- Financial planning clients · 101-250 to 101-250Mar 12, 2025 to May 20, 2025
- Accounts · 625 to 754Oct 15, 2024 to Mar 12, 2025
- Advisory activities · 4 to 3Oct 15, 2024 to Mar 12, 2025
- Individual clients · 262 to 278Oct 15, 2024 to Mar 12, 2025
- Employees · 8 to 7Oct 15, 2024 to Mar 12, 2025
- Other offices · 0 to 1Oct 15, 2024 to Mar 12, 2025
- Discretionary RAUM · $147M to $186MOct 15, 2024 to Mar 12, 2025
- HNW RAUM · $77.4M to $90.6MOct 15, 2024 to Mar 12, 2025
- Individual RAUM · $69.8M to $95.3MOct 15, 2024 to Mar 12, 2025
- RAUM · $147M to $186MOct 15, 2024 to Mar 12, 2025
- Accounts · 610 to 625Nov 8, 2023 to Jan 31, 2024
- HNW clients · 59 to 54Nov 8, 2023 to Jan 31, 2024
- Individual clients · 320 to 262Nov 8, 2023 to Jan 31, 2024
- Discretionary RAUM · $133M to $147MNov 8, 2023 to Jan 31, 2024
- HNW RAUM · $63.5M to $77.4MNov 8, 2023 to Jan 31, 2024
- Individual RAUM · $69.6M to $69.8MNov 8, 2023 to Jan 31, 2024
- RAUM · $133M to $147MNov 8, 2023 to Jan 31, 2024
- Accounts · 533 to 610Apr 25, 2023 to Oct 12, 2023
- HNW clients · 55 to 59Apr 25, 2023 to Oct 12, 2023
- Individual clients · 287 to 320Apr 25, 2023 to Oct 12, 2023
- Discretionary RAUM · $102M to $133MApr 25, 2023 to Oct 12, 2023
- HNW RAUM · $48.1M to $63.5MApr 25, 2023 to Oct 12, 2023
Signals
1 dated events
- T••• W••••• • T•• A••••••• filed its initial SEC registration (Form ADV)Feb 8, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/team-wealth-&-tax-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nextdoor.com/pages/teamtax-professional-tax-preparation-servreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 951-308-6444reportedpublic record, Form ADV, Jun 2, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026